FINRA Rule 4530(a) requires firms to promptly report specified events to FINRA no later than 30 calendar days after the firm knows or should have known of their existence.
Nasdaq will be changing its FINRA/Nasdaq TRF trade modifier logic to systematically enforce FINRA trade reporting requirements for non-tape reports. Specifically, the only modifiers that are allowed on non-tape reports are 1) trade settlement type modifiers in Trade Modifier 1 and 2) modifiers used to designate that a trade is being reported for regulatory fee assessment purposes in Trade
FINRA is providing these Frequently Asked Questions about its 529 Plan Share Class Initiative (the “Initiative”) in response to a number of inquiries it has received from firms and trade associations. In order to allow firms sufficient time to consider the additional information provided here and to provide firms more time to review their supervisory systems and procedures with respect to 529
TRACE Reporting of OTC Transactions in Listed Bonds
October 2018 Supplement to the Options Disclosure Document
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
As part of a technology upgrade, FINRA has implemented improved interfaces to retrieve data and has established naming conventions that follow industry standards. This change will promote consistent column names, both in the file download feature and API access.
FINRA will change column names and the order in which the columns are displayed in the download files. FINRA will support a new
FINRA Updates Supplemental Statement of Income
